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Diane Lynn Spencer

EGI Financial, Inc.

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About Diane Lynn Spencer

Diane Spencer is a financial advisor with over 40 years of experience. Diane is registered with EGI Financial, Inc. and has been working in the financial services industry since 1975. Diane has held previous positions at Stifel, Nicolaus & Company, Incorporated; Butler, Wick & Co., Inc.; Wachovia Securities, LLC; and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Diane is licensed in Florida and Ohio and holds Series 7, Series 63, SIE and PC licenses. Diane provides financial planning and portfolio management services for individuals and high-net-worth individuals.

Firm Information

Diane Spencer is currently registered with EGI Financial, Inc.. EGI Financial, Inc. is an investment advisor based in Akron, OH. The firm manages approximately $288.5 million in assets for 429 accounts. EGI Financial, Inc. provides financial planning and portfolio management services to individuals, including high-net-worth clients.
EGI Financial, Inc.

50 SOUTH MAIN STREET

AKRON, OH 44308-1831

$288.46M

Assets Under Management

Not reported

Total Clients

9

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Diane Spencer’s Registration & Firm History

OH

06/08/2021 - Present

EGI Financial, Inc. (AKRON OH)

OH

03/10/2009 - 01/25/2018

STIFEL, NICOLAUS & COMPANY, INCORPORATED (FAIRLAWN OH)

OH

01/11/2007 - 03/10/2009

BUTLER, WICK & CO., INC. (FAIRLAWN OH)

OH

06/01/2001 - 01/12/2007

WACHOVIA SECURITIES, LLC (AKRON OH)

NY

09/26/1978 - 06/27/2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NA

11/01/1975 - 09/26/1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

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Licenses & Designations

BC

Issued 01/20/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/08/1977

PC - AMEX Put and Call Exam

BC

Issued 10/18/1975

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Diane Lynn Spencer. Review regulatory record here.
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